Contents

1. Introduction ..................................................................................................1

2. Who we are and what we do........................................................................1 Structure of ORR ..........................................................................................1 Legislation ....................................................................................................2 Interface with other Government Departments and the industry ............2 How to contact ORR .....................................................................................3

3. Accounts and Finance .................................................................................3

4. Aims and Objectives ....................................................................................3 Aim – our vision of success for Britain’s railways .......................................3 Objectives .....................................................................................................4

5. Decision Making ..........................................................................................5 Board Meeting Minutes ................................................................................5 Accountability ...............................................................................................6 Consultations ................................................................................................6 Inspection and Investigation .........................................................................6

6. Our polices and procedures .........................................................................6 Working at ORR ...........................................................................................6 Memoranda of Understanding ......................................................................7 Customer Service ..........................................................................................7 Complaints Procedures ................................................................................8 Data Protection .............................................................................................8 Charging .......................................................................................................9

7. Public Register ...........................................................................................10 Register of Interests ...................................................................................10

8. Information and Guidance ..........................................................................10 Selection of guidance and information available: .......................................10

9. Introduction

The Freedom of Information Act requires the Office of Rail Regulation (ORR) to adopt and maintain a Publication Scheme that sets out the information we intend to pro-actively publish as a matter of routine. The purpose of a publication scheme is to ensure that a significant amount of information is available, without the need to make specific general information requests.

2. Who we are and what we do

2.1 ORR is the independent safety and economic regulator for the railway industry. Details of our key roles and corporate strategy can be found at:

http://www.rail-reg.gov.uk/server/show/nav.84

Structure of ORR

2.2 ORR is an independent statutory body led by a Board. The Secretary of State for Transport makes appointments to the Board for a fixed term of up to five years and may dismiss a member on the grounds set out in paragraph 2 of Schedule 1 to the Railways and Transport Safety Act 2003.

The Board is responsible for setting ORR’s strategy and oversight of its efficient, effective and economic delivery. The Chair of the Board is Anna Walker. The Board meets monthly and consists of a mix of non-executive and executive directors. The Board has five Committees covering Approvals, Audit, Remuneration, Periodic Review and Safety Regulation and their terms of reference are included in the Board Rules of Procedure.

For biographical details for Board members and the independent member of its Audit Committee please see:

http://www.rail-reg.gov.uk/server/show/nav.1197

This link also provides access to the Board’s rules of procedure, remuneration & register of interests and Board minutes.

2.3 The chief executive is an executive member of the Board. He is responsible for the delivery by the Office of the strategy set by the Board, for carrying out effectively the duties assigned to ORR under statute. He is in charge of ensuring the Office operates efficiently, with integrity and probity. He works closely with the chair to engage with external stakeholders at all levels. 2.4 There are six Directorates each headed by an Executive Director, overseen by the Chief Executive. These Directorates are:

- Corporate services;
- External affairs;
- Legal services;
- Rail markets and economics;
- Rail planning and performance;
- Railway safety.

For further details of the Executive Directors and Directorates see:

http://www.rail-reg.gov.uk/server/show/nav.76

**Legislation**

2.5 The national rail network infrastructure (track, signalling, bridges, tunnels and stations) is owned and operated by Network Rail. ORR's principal function is to regulate Network Rail's stewardship of the national rail network and to enforce health and safety legislation on Britain's railways.

ORR has a range of statutory powers under the Railways Act 1993. Using these powers, it sets the contractual and financial framework within which Network Rail operates the network, ensuring that the company carries out its activities efficiently and well, and that it is appropriately funded.

The framework for the regulation of Network Rail is designed to provide effective incentives so that the company is rewarded for doing a good job. If necessary however, ORR may enforce compliance with the network licence if the network operator fails to fulfill its obligations, and it may also impose monetary penalties.

Details of railway related legislation which ORR is involved in can be found at:

http://www.rail-reg.gov.uk/server/show/var.1836

**Interface with other Government Departments and the industry**

2.6 Through its statutory functions, ORR works closely with various stakeholders, including:

- Department for Transport;
- Rail Accident Investigation Branch;
- British Transport Police; • Health and Safety Executive; • Network Rail; • Train and freight operating companies; • Association of Train Operators (ATOC); • Passengerfocus; • London TravelWatch; • Heritage Railways Association; • Transport for London; • Tram operators; • Light rapid transit operators. • Channel Tunnel Safety Authority (CTSA); and • Rail trade unions.

How to contact ORR

2.7 Our contact details can be found at:

http://www.rail-reg.gov.uk/server/show/nav.27

3. Accounts and Finance

3.1 Details of our budgets, expenditure, financing and staff costs can be found in our annual report and resource accounts. The latest report incorporated in our annual report 2009-10, covering 1 April 2009 – 31 March 2010 can be found at:

http://www.rail-reg.gov.uk/upload/pdf/371.pdf

4. Aims and Objectives

4.1 ORR’s current aims and objectives have been developed in full consultation with external stakeholders. The aims form our vision for success for Britain’s railways and the objectives are based on seven strategic themes. They are summarised below and further details can be found in our corporate strategy 2009-14 and latest business plan:

http://www.rail-reg.gov.uk/server/show/nav.77

Aim – our vision of success for Britain’s railways

• Satisfaction levels of passenger and freight companies equivalent to the best in railways and other forms of transport. • Zero workforce and industry-caused passenger fatalities, with an ever decreasing overall safety risk. • Efficiency equivalent to that achieved by the best comparable railways across the world.

Objectives

Theme 1 Focus on passenger and freight customers now and in the future Passenger and freight customers benefit from improved safety, performance, efficiency and capacity.

Theme 2 Excellence in health and safety culture and risk control All parts of the railway have excellent health and safety culture and risk control processes.

Theme 3 Excellence in asset management That by 2014 whole life asset management in the railway industry matches that of best practice comparators.

Theme 4 Improved industry planning and timely and efficient delivery of major projects That committed improvements to the railways are delivered in a timely and efficient way, and credible plans are in place to meet the longer term challenges the industry faces.

Theme 5 Efficient use of capacity on the mainline network That the mainline industry has in place arrangements to achieve the best use of capacity on the network.

Theme 6 Development by the industry of the capabilities of its people All parts of the industry put in place arrangements so that they have and can sustain the skills and competence needed to meet the challenges of 2009 -14 and beyond.

Theme 7 High quality data and information for key decisions That data produced by the industry is better turned into information so that all parties can make effective and consistent use of it, and the industry’s management systems are more robust and meet international standards. 4.2 We publish an annual report including resource accounts and also a yearly overview of health and safety in the railway industry. These can be viewed at:

http://www.rail-reg.gov.uk/server/show/nav.1240

http://www.rail-reg.gov.uk/server/show/nav.2457

5. Decision Making

5.1 ORR makes decisions in a number of ways:

- The ORR Board has overall responsibility. It has a number of committees which serve the Board in an advisory role. The Board reserves some decisions to itself but has otherwise delegated authority to:

- Our chief executive, who in turn, has delegated some of his authority to:

- Individual directors, who make individual decisions and use their authority within the scope of their roles. In some instances, the Board has also delegated some authority directly to directors.

- The chief inspector makes decisions, using authority delegated by the Board, on health and safety enforcement matters, but must do so in accordance with any health and safety enforcement policy it has approved.

- Directors’ group (DG) is the forum that the chief executive uses to discuss, monitor and make decisions with the directors collectively and ensure a consistent approach on significant management and policy matters. In addition, DG ensures oversight of delivery of the corporate strategy/business plan, corporate governance, and value for money. It approves draft Board reports, makes key cross-directorate policy decisions, provides policy steer and monitors and reviews corporate information such as the accounts.

- Some staff members have statutory functions delegated to them by the Board, for example the approval of routine access agreements. Every staff member makes decisions in the course of their job within their directorate and the wider ORR.

Board Meeting Minutes

5.2 Minutes of meetings of the Board can be found at:

http://www.rail-reg.gov.uk/server/show/nav.83 Accountability

5.3 For details of our accountability see:

http://www.rail-reg.gov.uk/server/show/nav.93

Consultations

5.4 ORR issue various consultation documents, including consultations on:

- Land disposal.
- Licence applications.
- Track Access applications.
- Station Access applications
- Depot Access applications.

Further information and responses are available at:

http://www.rail-reg.gov.uk/server/show/nav.1089

Inspection and Investigation

5.5 Details of our processes for inspection and investigation incidents in relation to health and safety can be found at:

http://www.rail-reg.gov.uk/server/show/nav.1077

6. Our polices and procedures

Working at ORR

6.1 ORR employ around 300 people, responsible for regulating the stewardship of the national railway network, the relationships between train operators and the network operator, enforcing health and safety legislation on the railways and many other key aspects of rail service provision. These include the issue and enforcement of licences, approval of key industry contracts (in particular the setting of track access charges) and competition law powers.

ORR is largely based in at their headquarters near Covent Garden, London. We also have five regional offices at Birmingham, Bristol, Glasgow, Manchester, and York. 6.2 ORR is committed to equal opportunities and details of our policies in relation to equality, race and disability can be found at:

http://www.rail-reg.gov.uk/server/show/nav.110

6.3 Details of current vacancies are available at:

http://www.rail-reg.gov.uk/server/show/nav.112

Memoranda of Understanding

6.4 ORR has Memoranda of Understanding with a number of different government departments. Their purpose is to promote effective co-ordination of the regulatory roles of each body, and effective co-operation between them. It is not intended to be legally binding or to create expectations whose non-fulfillment would give rise to rights at law.

Memoranda of understanding are sometimes accompanied by Agency Agreements which relate the functions which the ORR has agreed to perform of others. For details please see:

http://www.rail-reg.gov.uk/server/show/nav.1242

Customer Service

6.5 ORR has a Customer Correspondence Team to ensure that anyone who contacts the office receives a prompt and full response to their comment, query or request for information under the Freedom of Information Act 2000. CCT members are available between 09.00 and 17.00 Monday to Friday (except public holidays).

If you write, we will:

- send you a full reply within twenty working days; and
- respond to your complaint or enquiry as fully as possible, or where necessary refer your complaint to the appropriate rail industry or regulatory body.

If you telephone, we will:

- respond to any messages received on the telephone answering machine as soon as possible.

If you send an e-mail, we will:

- provide you with a full response within twenty working days; and • refer your e-mail to the most appropriate organisation or regulatory body if necessary.

The team can be contacted as follows:

Customer Correspondence Team Office of Rail Regulation One Kemble Street London WC2B 4AN

Telephone: 020 7282 2018 / 3857 / 3925 / 3941 /3951 Email: contact.cct@orr.gsi.gov.uk

If we fail to meet any of our target response times, we would expect you to contact us immediately.

6.6 We publish details of Freedom of Information requests received which have a wider public interest. These can be viewed at:

http://www.rail-reg.gov.uk/server/show/nav.73

6.7 Requests for information made under the Environmental Information Regulations 2004 should be made to the Customer Correspondence Team

Complaints Procedures

6.8 We have procedures for dealing with the following type of complaints:

• Health and safety complaints. • Complaints about the railway infrastructure. • Complaints made under the Competition Act 1998. • Complaints against ORR.

Guidance on these procedures can be found at:

http://www.rail-reg.gov.uk/server/show/nav.2730

Data Protection

6.9 ORR is bound by the principles of the Data Protection Act 1998 (DPA 1998). The DPA 1998 regulates the processing of personal data relating to individuals (referred to as data subjects). The DPA 1998 includes a number of exemptions to protect certain sensitive personal data held by public bodies. 6.10 Any personal data held will be processed in compliance with DPA 1998 and any codes of practice issued by the Information Commissioner and will be stored in a secure, confidential and appropriate manner.

6.11 ORR is committed to upholding the following principles:

(a) personal data will be processed fairly and lawfully;

(b) the amount of personal data held will be adequate, relevant and not excessive in relation to the purposes for which it is held;

(c) personal data will be accurate and, where necessary, kept up to date;

(d) personal data will be obtained only for the specified and lawful purposes and will not be further processed in any manner incompatible with the purpose(s);

(e) personal data will only be held for so long as it is necessary to enable those specified and lawful purposes to be achieved;

(f) any individual about whom personal data is retained or is being processed will be informed by the ORR of:

(i) the purpose for which this is being done;

(ii) to whom such data may be disclosed;

(iii) the source of such data and who will have access to it, in an intelligible form upon request; and

(iv) how to have such data corrected or erased, where appropriate.

(g) personal data will be secured against unauthorised or unlawful processing, accidental loss, destruction or damage;

(h) personal data will only be transferred to a country outside the European economic area if that country’s laws provide similar protection to the individual concerned or if such transfer is necessary for the performance of any obligations under the contract of employment or for any other lawful reason.

6.12 Details of our information charter can be found at:

http://www.rail-reg.gov.uk/server/show/nav.289

Charging

6.13 ORR is funded through a combination of licence fees and a railway safety levy. Economic regulation activities are funded through the licence fee and health and safety activities through the safety levy. Further details can be found at:

http://www.rail-reg.gov.uk/server/show/nav.1238

7. Public Register

7.1 The Office of Rail Regulation (ORR) is required under section 72 of the Railways Act 1993 to maintain a public register. The provisions to be entered in the public register are detailed in section 72. Details, together with information on health and safety enforcement action (notices and prosecutions) electronically via our website at:

http://www.rail-reg.gov.uk/server/show/nav.274

Register of Interests

7.2 Paragraph 18(1), Schedule 1 of the Railways and Transport Safety Act 2003 requires ORR Board Members, Committee Members or employees who have a financial or other personal interest that is likely to influence their performance of a particular function to declare that interest. The Register is available for scrutiny by the public. The entries for ORR Board Members are available at:

http://www.rail-reg.gov.uk/server/show/nav.82

8. Information and Guidance

8.1 ORR regulates Network Rail, the owners of the national rail infrastructure and we publish a wide range of information and guidance for the railway industry and members of the public.

8.2 Details of our most requested and popular items can be accessed via the links shown below:

Selection of guidance and information available:

- Minutes of ORR Board meetings http://www.rail-reg.gov.uk/server/show/nav.83

- Press notices http://www.rail-reg.gov.uk/server/show/nav.40

- Public register http://www.rail-reg.gov.uk/server/show/nav.274

- Annual reports

http://www.rail-reg.gov.uk/server/show/nav.1240

- Corporate strategy

http://www.rail-reg.gov.uk/server/show/nav.78

- Business plan

http://www.rail-reg.gov.uk/server/show/nav.79

- National rail trends

http://www.rail-reg.gov.uk/server/show/nav.2026

- Periodic review 2008

http://www.rail-reg.gov.uk/server/show/nav.180

- Station usage data

http://www.rail-reg.gov.uk/server/show/nav.1529

- Information catalogue

http://www.rail-reg.gov.uk/server/show/nav.1530

- Network Rail licence

http://www.rail-reg.gov.uk/server/show/nav.141

- Agreements and contracts

http://www.rail-reg.gov.uk/server/show/nav.1823

- Operator licensing

http://www.rail-reg.gov.uk/server/show/nav.192

- Complaints about rail fares and car park charges

http://www.rail-reg.gov.uk/server/show/nav.2033

- Policy consultation documents http://www.rail-reg.gov.uk/server/show/nav.67

- Reporting of serious railway incidents to ORR

http://www.rail-reg.gov.uk/server/show/nav.1845

- Safety guidance and research

http://www.rail-reg.gov.uk/server/show/nav.1096

- Key safety topics

http://www.rail-reg.gov.uk/server/show/nav.1340

- Enforcement of health and safety legislation

http://www.rail-reg.gov.uk/server/show/nav.1120

- The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS)

http://www.rail-reg.gov.uk/server/show/nav.1511

- Railway safety statistics

http://www.rail-reg.gov.uk/server/show/nav.1932